Trade Surveillance Compliance Lead (Hybrid NY/ST)

Atlantic Group; New York (NY); Hybrid; USD 145,000 - 175,000; Full time

Job summary

Atlantic Group is hiring a Compliance Officer (Trade Surveillance Monitoring) for our client, with the position based in New York, NY or Stamford, CT. This role will support trading compliance, surveillance monitoring, regulatory oversight, and risk management across investment activities.

The Compliance Officer will provide real-time guidance to trading professionals, enhance pre-trade and post-trade controls, and investigate potential trading exceptions.

Qualifications

• Bachelor's degree required; JD strongly preferred.
• Bar admission preferred, but not required.
• 5–8 years of trade surveillance or trading compliance experience.
• Strong knowledge of U.S. securities regulations, market conduct, and trading controls.
• Experience analyzing trading activity, surveillance alerts, and compliance data.
• Strong analytical, investigative, and stakeholder management skills.

Responsibilities

• Provide timely compliance guidance on trading activity, approvals, market conduct, and regulatory requirements.
• Manage and enhance pre-trade and post-trade monitoring, including alert review and control improvements.
• Analyze trading exceptions and identify remediation recommendations.
• Monitor regulatory developments and support updates to policies and internal controls.
• Collaborate with legal, risk, operations, finance, and technology teams to implement compliance systems and reporting tools.
• Develop and deliver compliance training and practical guidance for traders and investment professionals.

Skills

Trading compliance

Trade surveillance

Investigations

Regulatory awareness

Cross-functional collaboration

Training delivery

Education

Bachelor's degree

Juris Doctor (preferred)

Tools

Automated monitoring tools

Job description

Atlantic Group is hiring a Compliance Officer (Trade Surveillance Monitoring) for our client, with the position based in New York, NY or Stamford, CT. This role will support trading compliance, surveillance monitoring, regulatory oversight, and risk management across investment activities.

The Compliance Officer will provide real-time guidance to trading professionals, enhance pre-trade and post-trade controls, and investigate potential trading exceptions.